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6.1 Results-Oriented Monitoring (ROM) in OPSYS
6.1.1 Introduction to the ROM Module
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For detailed information on the entire ROM Review Process, please consult the ROM Handbook and Annexes.
The ROM module is now integrated into OPSYS, so as of March 2023 and following the issuing of the related instruction note, all new ROM reviews will be created and managed in OPSYS. All ROM reviews created in the legacy system ROM module will continue to be managed in that system until completion (ROM module documentation – legacy system).
The ROM module covers the full cycle of ROM reviews on Interventions including the preparation of the work plan, the implementation of ROM reviews, the delivery of ROM reports, and comments by Commission services.
The ROM module brings major improvements to the ROM Review Process (see above):
- It reduces the workload for all actors, offering significant gains of time for ROM Contracts and ROM Experts (for completing the ROM reports and monitoring questions), as well as for Operational Managers (when commenting on ROM reports);
- It supports the shift from a Contractor-driven ROM system to one driven by EC services;
- It improves the quality of final ROM reports, by introducing the possibility for EC services to comment drafts;
- It improves data quality as the information on Interventions subjected to ROM reviews are already encoded in OPSYS;
- It offers an improved multi-criteria search function, based on Intervention and ROM review information.
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- Funding and Tender Opportunities Portal for ROM Contractors and ROM Experts; and
- OPSYS – MyWorkplace for EC internal ROM users: ROM Coordinators,Operational Managers (OM), M&E Focal Points (M&E FPs), Heads of Cooperation/Heads of Section/Heads of Operations/Heads of Unit (HoC/HoO/HoS/HoU), Administrators, and EC users.
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- ROM Workplan – Where the Interventions are listed, from which ROM reviews are created.
- ROM Reviews – Where all created ROM reviews are listed and managed.
- ROM Experts– Where all ROM Experts are listed and managed.
This documentation for ROM Contractors and ROM Experts provides a description of the main operations to be performed during the ROM review workflow in the ROM module of OPSYS, but focuses on the step-by-step specific to ROM Contractors and ROM Experts.
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6.1.2 Portfolio of Interventions for ROM Review
The ROM exercise starts with the establishment of the portfolio of Interventions to be submitted to the Contractors for ROM reviews. This internal process involves several Commission services and is supported by various information systems. It takes place every year and consists of:
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The portfolio of Interventions for ROM review includes four different categories:
- On Sample – A representative sample of EU-funded interventions in their early stages of implementation. The sample is prepared by the ROM Coordination Units. For these Interventions, ROM reviews support the OM in confirming or updating the intervention logic and logframe matrix (including baselines and targets), reviewing the monitoring system of the IP, assessing risks, mitigation measures and fine-tuning the implementation set-up and calendar of activities, focusing on improving the performance of the Intervention.
- EAMR Request – Interventions flagged as having implementation problems through the Commission’s internal reporting systems (in particular, the EAMR). In this case, the ROM review will assist the OM in addressing the main problems, identifying causes and options for solution, and making recommendations for follow-up actions.
- On Demand – Other Interventions for which the Commission services request a ROM review. Several reasons can justify this request. For instance, a ROM review can be useful for Interventions which could not be visited by OMs or for which the necessary sector expertise at Delegation/HQ level may not be available at a given point in time.
- Blending operations for which the Commission identifies the need for a ROM review. In OPSYS, a ROM review for Blending operations will be flagged (Yes/No value) during the creation of the ROM review, rather than being selected as a ROM review type.
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6.1.3 Overview of the ROM Review Workflow in OPSYS
Please find below an overview of the ROM Review Workflow in OPSYS:
1. The Interventions that could be subject to ROM reviews are listed in the internal OPSYS > Workplan. From this work plan, the Operational Manager (or M&E Focal Point or ROM Coordinator – see note below) will identify which Interventions require a ROM review, and then create the ROM reviews for these Interventions. Out of the list of ROM reviews created for the work plan, ROM Contractors via the external Funding & Tenders Portal can view and extract a list of planned ROM reviews (draft, confirmed, experts selected, experts confirmed), and then estimate the projects that they are able to review with the budget available under their contract.
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2. Once the ROM review is created and saved, the Planning Phase of the ROM review starts with the draft ROM review. ROM Contractors can access draft ROM reviews under their responsibility from the ROM Reviews section in the Funding and Tenders Portal. ROM Core Team Experts can also access draft ROM reviews from the portal and for their respective lot.
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During the ROM Review Planning Phase:
- ROM Contractors can edit and update draft ROM reviews;
- ROM Contractors will select ROM Experts for confirmed ROM reviews;
- ROM Expert(s) can view the ROM reviews for which they are selected (only when the Expert is approved and the ROM review is confirmed);
- ROM Core-Experts can view the ROM reviews for the respective lot for which the Experts are "core" (and only when the ROM review is confirmed).
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5. The ROM Experts section is dedicated to the management of the pool of Experts engaged under the ROM contracts. ROM Experts are encoded by ROM Contractors, and must be approved by ROM Coordinators in DG INTPA/NEAR before they can be selected during the Planning Phase of a ROM review.
6. As soon as the ROM review is approved by a ROM Coordinator, the Implementation and Follow-up Phases for the execution of the ROM review begins, consisting of five statuses/steps in the system (Approved, Desk Phase Started, Draft Report, Draft Report Commented and Final Report). Again, each status/step is managed by the ROM actor(s) responsible for the specific step in the workflow. The responsible ROM actor(s) will complete the required operations for each step (for examples: the ROM Expert fills in the draft ROM Report and drafts answers to the Monitoring Questions; the Operational Manager or M&E Focal Point comment on the draft ROM Report and draft Monitoring Questions), and then submits the ROM review to the next step in the workflow.
During the ROM Review Implementation and Follow-up Phases:
- ROM Contractors can edit and update draft ROM reviews;
- ROM Contractors will transition ROM reviews to the desk phase (once approved);
- ROM Contractors and/or assigned ROM Expert(s) will fill in the Draft ROM Report and Draft Monitoring Questions for the ROM review based on the data collected during the field phase;
- ROM Contractors and/or assigned ROM Expert(s) can address any comments received (if necessary) on the Draft ROM Reports.
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Please find below a graphical representation of the status transitions for ROM reviews and Expert administration in OPSYS:
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6.1.4 Roles and Responsibilities for ROM
INTPA D4 (Performance, Results and Evaluation; Internal Communication, Knowledge Management and Collaborative Methods) and NEAR A4 (Coordination of financing instruments - performance, results, and evaluation), are in charge of the overall coordination of the ROM system.
Four service contracts have been signed with external external ROM Contractors for the implementation of ROM reviews and support to results reporting, covering each one lot (geographic or thematic).
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Role: | Responsibilities: |
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Operational Manager | The OM is the Project Manager (in EUD or HQ) responsible for the intervention(s) subject to a ROM review. |
M&E Focal Point | Each EUD/HQ Unit appoints a Focal Point (and backup) for monitoring (including ROM) and evaluation. Regarding ROM, their role is to ensure appropriate information flows and good coordination among all actors involved in ROM mission planning and execution, as well as to encourage follow-up. The M&E Focal Point acts as backup of all Operational Managers of their Delegation or HQ Operational Unit and has the corresponding permissions for all ROM reviews in their Delegation or HQ Operational Unit. |
Head of Cooperation/Head of Section/Head of Operations/Head of Unit | The Head of Unit in HQ/Head of Cooperation/Operations in Delegations has access to the ROM module of OPSYS for oversight of the monitoring activities in the portfolio under his/her responsibility. |
ROM Coordinator | HQ staff (in DG INTPA and DG NEAR) in charge of a ROM contract. Approves experts and ROM reviews. |
ROM Contractor | The ROM Contractors are the entities/consortia contracted and supervised by the ROM Coordinators to carry out the ROM reviews on selected Interventions. They report the results of their reviews according to standardised procedures and assure quality of their outputs. |
ROM Experts – Core Team | External experts, responsible for reviewing Interventions as well as for coordination activities within the ROM team. The same as ROM Expert with more privileges. |
ROM Experts – Non-core | External experts, responsible for reviewing Interventions. |
ROM QC Experts | The purpose of the role is to check quality of deliverables within a given ROM contract. |
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